John Baratta Jr
Professional summary
John Baratta Jr, who also goes by John Jr Baratta, John Baratta Jr, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Red Bank, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 22 firms and has passed the Series 63, Series 57TO, SIE, Series 25, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Baratta Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 8, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 322 Nj-35 2nd Floor, Red Bank, NJ 07701August 4, 2021 - December 13, 2023
COWEN AND COMPANY
March 29, 2011 - February 10, 2022
COWEN PRIME SERVICES LLC
February 10, 2010 - March 10, 2011
HCC SECURITIES GROUP, INC
January 2, 2007 - February 22, 2008
RBC CAPITAL MARKETS CORPORATION
August 11, 2006 - January 2, 2007
CARLIN EQUITIES, LLC
March 21, 2006 - August 4, 2006
TD PRIME SERVICES LLC
April 11, 2005 - August 10, 2006
FJG SECURITIES INC.
November 4, 2002 - April 19, 2005
LEK SECURITIES CORPORATION
March 11, 2002 - July 31, 2002
PUGLISI & CO.
October 20, 2000 - March 11, 2002
LADENBURG THALMANN & CO. INC.
August 14, 1998 - November 15, 2000
GRUNTAL & CO., L.L.C.
August 11, 1997 - August 3, 1998
LADENBURG CAPITAL MANAGEMENT INC.
November 14, 1994 - July 31, 1997
RICKEL & ASSOCIATES, INC.
April 1, 1993 - October 28, 1994
WESTFIELD FINANCIAL CORPORATION
April 8, 1992 - March 24, 1993
S. D. COHN & CO., INC.
September 24, 1990 - October 31, 1991
MANCHESTER RHONE SECURITIES CORP.
July 24, 1990 - November 30, 1993
VANDERBILT SECURITIES, INC.
November 21, 1989 - October 15, 1990
V P SECURITIES, INC.
November 14, 1989 - December 6, 1989
DONALD & CO. SECURITIES INC.
January 24, 1989 - November 20, 1989
WILLIAM M. CADDEN & CO., INC.
August 23, 1988 - January 30, 1989
INVESTORS CENTER, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/8/2023)
(12/8/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 25
Date: 3/10/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 6/17/1999
Limited Representative-Equity Trader ExamCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
